SEC Form 4 · accession 0001340127-16-000213
Carbonite Inc · CARB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cassandra Hudson
Officer — Chief Accounting Officer
Period of report
Aug 2, 2016
Accepted (ET)
Aug 3, 2016 · 4:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001340127
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 2, 2016 | M | 2,187 | $10.00 | A | 42,378 | D | |
| Common Stock | Aug 2, 2016 | M | 6,000 | $10.26 | A | 48,378 | D | |
| Common StockF1,F2 | Aug 2, 2016 | S | 2,187 | $12.50 | D | 46,191 | D | |
| Common StockF1,F2 | Aug 2, 2016 | S | 6,000 | $13.00 | D | 40,191 | D | |
| Common StockF1,F2 | Aug 2, 2016 | S | 4,971 | $12.22 | D | 35,220 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $10.00 | Aug 2, 2016 | M | 2,187 | D | Jul 20, 2011 | Jul 20, 2021 | Common Stock | 2,187 | 0 | D |
| Stock Option (Right to Buy) | $10.26 | Aug 2, 2016 | M | 6,000 | D | Jan 24, 2012 | Jan 24, 2022 | Common Stock | 6,000 | 0 | D |
Explanation of responses
- F1Represents shares automatically sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2016.
- F2Includes 35,220 shares of common stock subject to restricted stock units.